Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2021)
    • CF1 Director (AR) (since 7 Jan 2021)
    • CF30 Customer (since 7 Jan 2021)
    • [FCA CF] Functions requiring qualifications (6 Aug 2020 to 28 Feb 2021)
    • [FCA CF] Client dealing (6 Aug 2020 to 28 Feb 2021)
    • CF30 Customer (12 Jun 2017 to 8 Dec 2019)
    • (1)Employed By (since 7 Jan 2021)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (17 Oct 2012 to 6 Mar 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (3 Dec 2010 to 30 Sep 2012)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 14 Sep 2005)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.